DETAILED ACTION
Notice of Pre-AIA or AIA Status
The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Response to Arguments
Applicant's arguments filed January 23, 2026 have been fully considered but they are not persuasive. Applicant makes the following arguments; first applicant argues that the tunnel junction does not include an inner peripheral regional and an outer peripheral region. Examiner disagrees. The MPEP allows for a drawing to anticipate a claim even when silent or unexplained in the specification. The drawing must be evaluated for what it would reasonably disclose and suggest to one of ordinary skill in the art. “Drawings and pictures can anticipate claims if they clearly show the structure which is claimed. In re Mraz, 455 F.2d 1069, 173 USPQ 25 (CCPA 1972). However, the picture must show all the claimed structural features and how they are put together. Jockmus v. Leviton, 28 F.2d 812 (2d Cir. 1928). The origin of the drawing is immaterial. For instance, drawings in a design patent can anticipate or make obvious the claimed invention as can drawings in utility patents. When the reference is a utility patent, it does not matter that the feature shown is unintended or unexplained in the specification. The drawings must be evaluated for what they reasonably disclose and suggest to one of ordinary skill in the art. In re Aslanian, 590 F.2d 911, 200 USPQ 500 (CCPA 1979). See MPEP § 2121.04 for more information on prior art drawings as "enabled disclosures."” (MPEP 2125 I). Fig. 4 of Jikutani would reasonably disclose and suggest to one of ordinary skill in the art that the tunnel junction includes an inner peripheral region and an outer peripheral region. Area 216 is drawn as one contionus region and not two separate regions on for area 219b and the other for region 208b as suggested by Applicant. As such one of ordinary skill in the art would include the tunnel junction as par of 216. For the given reason Examiner finds applicant’s argument unpersuasive.
Applicant also argues that Claim 2 is not an inherent property to the material. After reconsideration Examiner agrees and withdraws the Rejection for Claim 2. Claim 2 is now Objected to because it depends from a Rejected Claim.
Claim Rejections - 35 USC § 102
The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action:
A person shall be entitled to a patent unless –
(a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention.
(a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
Claims 1, 3-4, 7-8, 13 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Jikutani et al. JP 2005044964.
Regarding Claim 1, Jikutani teaches A vertical cavity surface emitting laser element (Figs. 3-4), comprising:
A stacked body (Fig. 3) that comprises:
a first DBR (Distributed Bragg Reflector) (Fig. 3, 219 Paragraph 0129 “upper semiconductor distributed Bragg reflector 219”) configured to reflect light of a specific wavelength (It is inherent to a DBR that it reflects light of a specific wavelength);
a second DBR (Fig. 3, 203 Paragraph 0129 “lower semiconductor distributed Bragg reflector 203”) configured to reflect the light of the wavelength (It is inherent to a DBR that it reflects light of a specific wavelength);
an active layer (Fig. 3, 206 Paragraph 0129 “a non-doped GaInNAs / GaAs multiple quantum well active layer 206”) between the first DBR and the second DBR (Fig. 3 shows layer 206 between layers 219 and 203);
a tunnel junction layer (Fig. 3, 218 Paragraph 0132 “tunnel junction 218”) between the first DBR and the active layer (Fig. 4 shows layer tunnel junction layer 218 is between active layer 206 and the first DBR which starts at 219b) and wherein
the tunnel junction layer includes a tunnel junction (Paragraph 0133 “p++ GaAs layer and n++ A tunnel junction 218 made of a −GaAs layer is provided.”), and
each of the active layer and the tunnel junction layer includes an inner peripheral region and an outer peripheral region, (See annotated Fig. 3 below)
each of the inner peripheral region and the outer peripheral region is in a direction which is perpendicular to a layer surface direction of the stacked body, (The inner and the outer peripheral regions are vertical which is perpendicular to the layer surface direction which is horizontal)
the outer peripheral region surrounds the inner peripheral region, (Annotated Fig. 3 below shows that the outer peripheral region surrounds the inner peripheral region.)
ions are implanted into the outer peripheral region of the tunnel junction layer, (Paragraph 0134 “In the element of the second embodiment, as in the first embodiment, the positive ion implantation region 216 and the non-ion implantation conduction region 217 surrounded by the ion implantation high resistance region 216 are positively implanted by hydrogen ion implantation.” The ion implantation happens in layer 218)
the outer peripheral region of the tunnel junction layer has a carrier concentration lower than a carrier concentration of the inner peripheral region of the tunnel junction layer, and the outer peripheral region of the tunnel junction layer has an electric resistance larger than an electric resistance of the inner peripheral region of the tunnel junction layer. (Jikutani teaches 216 is a high resistance region which means it has a lower carrier concentration and a larger electric resistance)
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Regarding Claim 3, Jikutani teaches a refractive index of the outer peripheral region of the tunnel junction layer is smaller than a refractive index of the inner peripheral region of the tunnel junction layer. (It is inherent that the high resistance region will have a higher refractive index)
Regarding Claim 4, Jikutani teaches wherein the ions are O ions. (Paragraph 0136 “At this time, if the ion-implanted high resistance region 216 is formed by oxygen ion implantation instead of hydrogen ions,”)
Regarding Claim 7, Jikutani teaches a first intermediate layer (Fig. 4, 208) that between the tunnel junction layer and the active layer (Fig. 4 shows that layer 207 is disposed between the tunnel junction layer and the active layer); and
a second intermediate layer (Fig. 4, 205) that between the second DBR and the active layer (Fig. 4 shows the second intermediate layer is between the second DBR and the active layer), wherein
each of the first intermediate layer and the second intermediate layer includes an outer peripheral region. (See annotated Fig. 3 below)
the ions are O ions (Paragraph 0136 “At this time, if the ion-implanted high resistance region 216 is formed by oxygen ion implantation instead of hydrogen ions,”), and
the outer peripheral region of at least one of the active layer, the first intermediate layer, or the second intermediate layer contains an Al oxide. (Paragraph 0132 “p-Al0.9Ga0.1As upper semiconductor distributed Bragg reflector low refractive layer 208a” There will form Al oxide within the AlGaAs due to the Oxygen implantation.)
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Regarding Claim 8, Jikutani teaches the outer peripheral region of the first intermediate layer contains the Al oxide (Paragraph 0132 “p-Al0.9Ga0.1As upper semiconductor distributed Bragg reflector low refractive layer 208a” There will form Al oxide within the AlGaAs due to the Oxygen implantation.), and the outer peripheral region of each of the active layer and the second intermediate layer contains no Al oxide. (Paragraph 0132 “a non-doped GaInNAs / GaAs multiple quantum well active layer 206” Paragraph 0132 “FIG. 4 shows a resonance region 213 composed of a non-doped GaAs resonator spacer 205”)
Regarding Claim 13, Jikutani teaches A method of producing a vertical cavity surface emitting laser element, the method comprising:
forming a stacked body (Paragraph 0129 “The surface emitting laser element shown in FIG. 3 is grown by the same crystal growth method as in the first embodiment.”) that includes
a first DBR (Distributed Bragg Reflector) (Fig. 3, 219 Paragraph 0129 “upper semiconductor distributed Bragg reflector 219”) configured to reflect light of a specific wavelength (It is inherent to a DBR that it reflects light of a specific wavelength),
a second DBR (Fig. 3, 203 Paragraph 0129 “lower semiconductor distributed Bragg reflector 203”) configured to reflect the light of the specific wavelength (It is inherent to a DBR that it reflects light of a specific wavelength),
an active layer (Fig. 3, 206 Paragraph 0129 “a non-doped GaInNAs / GaAs multiple quantum well active layer 206”) that between the first DBR and the second DBR (Fig. 3 shows layer 206 between layers 219 and 203), and
a tunnel junction layer (Fig. 3, 218 Paragraph 0132 “tunnel junction 218”) between the first DBR and the active layer (Fig. 4 shows layer tunnel junction layer 218 is between active layer 206 and the first DBR which starts at 219b) wherein
the tunnel junction layer includes a tunnel junction (Paragraph 0133 “p++ GaAs layer and n++ A tunnel junction 218 made of a −GaAs layer is provided.”),
each of the active layer and the tunnel junction layer includes:
an inner peripheral region and an outer peripheral region, (See annotated Fig. 3 below)
each of the inner peripheral region and the outer peripheral region is in a direction which is perpendicular to a layer surface direction of the stacked body, (The inner and the outer peripheral regions are vertical which is perpendicular to the layer surface direction which is horizontal)
the outer peripheral region surrounds the inner peripheral region, (Annotated Fig. 3 below shows that the outer peripheral region surrounds the inner peripheral region.)
implanting ions are implanted into the outer peripheral region of the tunnel junction layer, (Paragraph 0134 “In the element of the second embodiment, as in the first embodiment, the positive ion implantation region 216 and the non-ion implantation conduction region 217 surrounded by the ion implantation high resistance region 216 are positively implanted by hydrogen ion implantation.” The ion implantation happens in layer 218)
a carrier concentration of the outer peripheral region of the tunnel junction layer is lower than a carrier concentration of the inner peripheral region of the tunnel junction layer, based on the implantation of the ions into the outer peripheral region of the tunnel junction layer, and an electrical resistance of the outer peripheral region of the tunnel junction layer is larger than an electric resistance of the inner peripheral region of the tunnel junction layer, based on the implantation of the ions into the outer peripheral region of the tunnel junction layer. (Jikutani teaches 216 is a high resistance region which means it has a lower carrier concentration and a larger electric resistance)
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Claim Rejections - 35 USC § 103
The following is a quotation of 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action:
A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made.
The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
Claims 5-6, 11-12, 14-16 are rejected as being unpatentable over 35 U.S.C. 103 over Jikutani in view of Kim US 20050105576.
Regarding Claim 5, Jikutani does not teach the tunnel junction layer includes of a substance that contains at least one layer of Al.
However,
Kim teaches t the tunnel junction layer includes of a substance that contains at least one layer of Al. (Paragraph 0035 “Referring to FIG. 4 and FIG. 5, over the p-type InP top spacer 121 is a tunnel junction 122 comprised of a reverse biased n++/p++ junction. For VCSELs, the tunnel junction 122 generally includes a p-layer 210 and an n-layer 220, with both materials selected from, for example, InP, AlInAs, AlInGaAs, InGaAsP, GaAs, AlAs, AlGaAs, InGaAs, AlGaAsSb, GaAsSb, AlAsSb, AlPSb, GaPSb, AlGaPSb, and combinations thereof.”)
It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified the tunnel Junction layer as taught by Jikutani by having at least one layer of Al as disclosed by Kim. The selection of a known material based on its suitability for its intended use supported a prima facie obviousness determination in Sinclair & Carroll Co. v. Interchemical Corp., 325 U.S. 327, 65 USPQ 297 (1945) MPEP 2144.07. The reference has demonstrated choosing to use a tunnel junction layer containing Aluminum is suitable for creating a properly functioning tunnel junction.
Regarding Claim 6, Jikutani in combination with Kim teaches the outer peripheral region of the tunnel junction layer contains an Al oxide. (Having Oxygen Ion implantation with a layer containing Al will create an Al Oxide inherently See Claim 5 for rationale.)
Regarding Claim 11, Jikutani does not teach the inner peripheral region of the tunnel junction layer includes a first layer of p+-AlInAs and a second layer of n+-AlInAs, and the outer peripheral region of the tunnel junction layer includes an AlInAs oxide.
However,
Kim teaches the tunnel junction layer includes a first layer of p+-AlInAs and a second layer of n+-AlInAs (Paragraph 0035 “Referring to FIG. 4 and FIG. 5, over the p-type InP top spacer 121 is a tunnel junction 122 comprised of a reverse biased n++/p++ junction. For VCSELs, the tunnel junction 122 generally includes a p-layer 210 and an n-layer 220, with both materials selected from, for example, InP, AlInAs, AlInGaAs, InGaAsP, GaAs, AlAs, AlGaAs, InGaAs, AlGaAsSb, GaAsSb, AlAsSb, AlPSb, GaPSb, AlGaPSb, and combinations thereof.” Having Oxygen Ion implantation with a layer containing AlInAs will create an AlInAs Oxide inherently)
It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified the tunnel Junction layer as taught by Jikutani by having the tunnel junction layer is formed by stacking a first layer formed of p+-AlInAs and a second layer formed of n+-AlInAs as disclosed by Kim. The selection of a known material based on its suitability for its intended use supported a prima facie obviousness determination in Sinclair & Carroll Co. v. Interchemical Corp., 325 U.S. 327, 65 USPQ 297 (1945) MPEP 2144.07. The reference has demonstrated choosing to use a tunnel junction layer containing the tunnel junction layer is formed by stacking a first layer formed of p+-AlInAs and a second layer formed of n+-AlInAs is suitable for creating a properly functioning tunnel junction.
Regarding Claim 12, Jikutani does not teach the inner peripheral region of the tunnel junction layer is includes a first layer of p+-AlGaAs and a second layer of n+-AlGaAs, and the outer peripheral region of the tunnel junction layer includes an AlGaAs oxide.
However,
Kim teaches the tunnel junction layer includes a first layer of p+-AlGaAs and a second layer of n+-AlGaAs (Paragraph 0035 “Referring to FIG. 4 and FIG. 5, over the p-type InP top spacer 121 is a tunnel junction 122 comprised of a reverse biased n++/p++ junction. For VCSELs, the tunnel junction 122 generally includes a p-layer 210 and an n-layer 220, with both materials selected from, for example, InP, AlInAs, AlInGaAs, InGaAsP, GaAs, AlAs, AlGaAs, InGaAs, AlGaAsSb, GaAsSb, AlAsSb, AlPSb, GaPSb, AlGaPSb, and combinations thereof.” Having Oxygen Ion implantation with a layer containing AlGaAs will create an AlGaAs Oxide inherently)
It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified the tunnel Junction layer as taught by Jikutani by having the tunnel junction layer is formed by stacking a first layer formed of p+-AlGaAs and a second layer formed of n+-AlGaAs as disclosed by Kim. The selection of a known material based on its suitability for its intended use supported a prima facie obviousness determination in Sinclair & Carroll Co. v. Interchemical Corp., 325 U.S. 327, 65 USPQ 297 (1945) MPEP 2144.07. The reference has demonstrated choosing to use a tunnel junction layer containing the tunnel junction layer is formed by stacking a first layer formed of p+-AlGaAs and a second layer formed of n+-AlGaAs is suitable for creating a properly functioning tunnel junction.
Regarding Claim 14, Jikutani teaches the implanting ions into the outer peripheral region of the tunnel junction layer includes implanting O ions into the outer peripheral region of the tunnel junction layer. (Paragraph 0136 “At this time, if the ion-implanted high resistance region 216 is formed by oxygen ion implantation instead of hydrogen ions,”)
Jikutani does not teach the tunnel junction layer includes a substance containing at least one layer of Al.
However,
Kim teaches the tunnel junction layer is formed of a substance containing at least one layer of Al. (Paragraph 0035 “Referring to FIG. 4 and FIG. 5, over the p-type InP top spacer 121 is a tunnel junction 122 comprised of a reverse biased n++/p++ junction. For VCSELs, the tunnel junction 122 generally includes a p-layer 210 and an n-layer 220, with both materials selected from, for example, InP, AlInAs, AlInGaAs, InGaAsP, GaAs, AlAs, AlGaAs, InGaAs, AlGaAsSb, GaAsSb, AlAsSb, AlPSb, GaPSb, AlGaPSb, and combinations thereof.”)
It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified the tunnel Junction layer as taught by Jikutani by having at least one layer of Al as disclosed by Kim. The selection of a known material based on its suitability for its intended use supported a prima facie obviousness determination in Sinclair & Carroll Co. v. Interchemical Corp., 325 U.S. 327, 65 USPQ 297 (1945) MPEP 2144.07. The reference has demonstrated choosing to use a tunnel junction layer containing Aluminum is suitable for creating a properly functioning tunnel junction.
Regarding Claim 15, Jikutani teaches the implanting of the O ions into the outer peripheral region of the tunnel junction layer further includes generating an Al oxide in the outer peripheral region of the tunnel junction layer. (Having Oxygen Ion implantation with a layer containing Al will create an Al Oxide inherently See Claim 14 for rationale.)
Regarding Claim 16, Jikutani teaches the stacked body further includes:
a first intermediate layer (Fig. 4, 208) that between the tunnel junction layer and the active layer (Fig. 4 shows that layer 207 is disposed between the tunnel junction layer and the active layer); and
a second intermediate layer (Fig. 4, 205) that between the second DBR and the active layer (Fig. 4 shows the second intermediate layer is between the second DBR and the active layer), and
each of the first intermediate layer and the second intermediate layer includes an outer peripheral region, (See annotated Fig. 3 below) and
the implanting of the ions into the outer peripheral region of the tunnel junction layer further includes implanting of the O ions into the outer peripheral region of at least one of the active layer, the first intermediate layer, or the second intermediate layer. (Paragraph 0132 “p-Al0.9Ga0.1As upper semiconductor distributed Bragg reflector low refractive layer 208a” There will form Al oxide within the AlGaAs due to the Oxygen implantation.)
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Claims 17 are rejected as being unpatentable over 35 U.S.C. 103 over Jikutani and Kim in view of Hegblom et al US 20200321754.
Regarding Claim 17, Jikutani in combination with Kim does not teach an annealing treatment that includes: repairing crystal defects caused by the implantation of the ions; and promoting generation of an Al oxide.
However,
Hegblom teaches an annealing treatment that includes: repairing crystal defects caused by the implantation of the ions and promoting generation of an Al oxide. (Paragraph 0054 “However, a high temperature oxidation step (e.g., typically greater than approximately 380° C.) can significantly anneal out implantation damage.”)
It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified the method as taught by Jikutani by adding the annealing step as disclosed by Hegblom. One of ordinary skill in the art would have been motivated to make this modification in order to anneal out the implantation damage. (Hegblom Paragraph 0054)
Claims 9 are rejected as being unpatentable over 35 U.S.C. 103 over Jikutani in view of Another embodiment of Jikutani.
Regarding Claim 9, Jikutani does not teach the outer peripheral region of each of the first intermediate layer, the active layer, and the second intermediate layer contains the Al oxide.
However,
Another embodiment of Jikutani teaches the outer peripheral region of each of the first intermediate layer, the active layer, and the second intermediate layer contains an ion implant. (Fig. 8, Layer 407 is the active layer and Layers 406a and 406b are the intermediate layers. All are made with materials with Al within “The resonance region 413 is a non-doped Al in order from the substrate 401 side..sub.0.15Ga.sub.0.85As resonator spacer layer 406a, non-doped GaAs / Al.sub.0.15Ga.sub.0.85As multiple quantum well structure 407, non-doped Al.sub.0.15Ga.sub.0.85As spacer layer 406b” By having oxygen ion implanted there will from an Al oxide within the outer peripheral regions)
It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified the ion implant as taught by Jikutani by having it be within the outer peripheral region of the first intermediate layer the active layer and the second intermediate layer as disclosed by another embodiment of Jikutani. One of ordinary skill in the art would have been motivated to make this modification in order to obtain a stable single fundamental transverse mode oscillation even when the driving state of the device is changed. (Jikutani Paragraph 0163)
Claims 10 are rejected as being unpatentable over 35 U.S.C. 103 over Jikutani and Kim in view of Shen CN 111211488.
Regarding Claim 10, Jikutani does not teach the outer peripheral region of the active layer contains the Al oxide, and the outer peripheral region of each of the first intermediate layer and the second intermediate layer contains no Al oxide.
However,
Kim teaches the use of an active layer with Al as part of the layer. (Paragraph 0034 “The composition of the active region 120 is beneficially InGaAsP or AlInGaAs.”)
It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have active layer as taught by Jikutani by having the active layer contain an Al within as disclosed by Kim. One of ordinary skill in the art would have been motivated to make this modification in order to adjust the wavelength of the device.
Shen teaches only having the active layer have an ion implantation. (Figs. 15-20, 17 & 18 Page 8 Paragraph 3 “As shown in FIG. 15-20, as the one capable of realizing mode, the first reflector layer 1, an active layer 8, and the second reflector layer 3 formed platform structure, it will be appreciated that they can be the same size, there is no step structure, the active layer 8 comprises a proton or ion implantation region 17 and the first non-injected area 18, proton or ion implantation region 17 surrounds the first implantation region 18” By having only the active layer have the ion implantation Al oxide will form only in the active layer and not in the first or second intermediate layers)
It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified device as taught by Jikutani by having the outer peripheral region of the active layer contains an Al oxide, and the outer peripheral region of each of the first intermediate layer and the second intermediate layer contains no Al oxide as disclosed by Shen. One of ordinary skill in the art would have been motivated to make this modification in order to simplify the manufacturing process. (Page 8 Paragraph 3 “adopting this kind of structure does not need a oxide layer 2, also does not need oxide trench 10 etching, simplify the manufacturing process, reduce the complexity of the process.”)
Allowable Subject Matter
Claim 2 is objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims.
Regarding Claim 2, Jikutani does not teach a bandgap of the outer peripheral region of the tunnel junction layer is larger than a bandgap of the inner peripheral region of the tunnel junction layer.
Conclusion
THIS ACTION IS MADE FINAL. Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to STEPHEN SUTTON KOTTER whose telephone number is (571)270-1859. The examiner can normally be reached Monday - Friday 8:00-5:00.
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/STEPHEN SUTTON KOTTER/Examiner, Art Unit 2828 /MINSUN O HARVEY/Supervisory Patent Examiner, Art Unit 2828